SD9 - Follow-up Report on the Publication Practices of Virginia State Agencies


Executive Summary:
Almost all State agencies produce some type of publication. Publications range from one-page brochures to hardbound documents of several hundred pages. Most State agencies have discretion as to the type and number of publications they issue as well as the format in which the publications are produced.

In 1982, the Joint Legislative Audit and Review Commission (JLARC) reviewed State agency publication practices and found that most publications were moderately produced. Some agencies, however, issued publications which were "excessive" and therefore more costly than necessary. This follow-up review found similar general conditions. In addition, the number and cost of State agency publications has increased substantially over the last several years.

Between FY 1979 and FY 1989, the number of publications issued annually more than doubled. During the same time period, publication costs increased sharply - by 231 percent. In FY 1979, State agencies produced 2,712 publications with a printing cost of over $4 million. In FY 1989, 5,779 publications were issued at a cost of over $13.3 million. This rate of growth in publication expenditures is more than one and one-half times the rate of increase in the State operating budget over the same time period.

Though actions have been taken since the 1982 JLARC review to address some problems related to agency publications, additional steps are necessary to ensure that State agencies produce publications in the most economical manner possible. Particularly in light of recent State budget concerns, agencies need to review their publication activities with the intent of eliminating unnecessary publications and reducing the use of special technical processes which increase publication costs. All agencies should comply with guidelines and requirements issued by the Department of General Services (DGS) when producing publications. Attention should also be directed toward strengthening the oversight of publication activities by agency heads, the Virginia State Library, and DGS.

This report summary briefly discusses the major study findings and recommendations. Detailed explanations are included in the text of the report.

Indicators Suggest that the State May Spend Excessive Amounts on Publications

The number and cost of State publications has increased significantly over the past decade. The increase in the total cost of State publications is largely due to the overall increase in the number of publications produced. However, there has also been an increase in the number of higher-cost reports generated. Though a comprehensive, publication-by-publication review to assess the reasonableness of each agency's publication expenditures was not conducted by JLARC,. several analyses indicate that the State may be spending excessive amounts on publications. These analyses show that:

• The number of expensive publications has increased.
• A significant number of publications are printed on expensive paper stock.
• The number of multi-color publications has increased.
• Some agencies produce high cost-per-copy publications which do not appear justifiable.
• Some publications are produced in very large quantities.

The following recommendation is made:

• As part of Project Streamline, each Governor's Secretary should direct his or her agencies to undertake an assessment of their publication needs and practices, and identify opportunities for cost savings. Particular attention should be focused on agencies with high publication expenditures, high cost-per-copy publications, and large quantities of publications. Each Secretary should set a target figure for publication savings to be achieved by the agencies within his or her secretarial area over the biennium. Although no hard and fast evidence exists to support a particular target amount, a combined $1 million target for all agencies over the biennium would appear reasonable given the recent rapid growth in the number and cost of State publications.

Lack of Compliance With Requirements Adds to the Cost of State Publications

State agencies must make decisions in four primary areas when producing publications: identification of the need for the publication, design, printing, and distribution. DGS' Division of Purchases and Supply (DGS/DPS) issues guidelines for agencies to follow in producing publications. These guidelines help agencies identify the most economical method of designing and printing publications. In addition, the Code of Virginia details certain distribution practices meant to keep costs associated with publication distribution at a minimum. Non-compliance with the DGS/DPS guidelines and Code requirements typically results in increased publication costs.

Four major problems were identified with the production of publications by State agencies. First, agencies seldom conduct needs assessments to analyze the need for all their publications. Second, for publications designed out-of-house, some agencies do not request the services of DGS'·Office of Graphic Communications, as required. Third, review of State agency publications identified many publications which were printed using high-cost features, such as multiple ink colors and glossy or textured paper. Fourth, distribution practices identified in the Code of Virginia are not being adequately followed, resulting in increased distribution costs.

The following recommendations are made:

• DGS/DPS should clarify section 6.7 of the Agency Procurement and Surplus Property Manual by specifying that all agencies, when planning to use a private firm for design services estimated to cost over $750, must first contact the Office of Graphic Communications.

• DGS/DPS should follow up with agencies having promotional mandates to ensure that those agencies procure design services through the Office of Graphic Communications as required. DGS/OPS should document non-compliance and request a written agency response as to how the problem will be corrected.

• The Secretary of Administration, with assistance from DGS, should develop suggested guidelines to be used by executive branch agencies when conducting needs assessments of agency publications.

• The Secretary of Administration should attach a cover letter to the next DGS/DPS distribution survey directing agencies to (1) respond to the survey, and (2) unless otherwise directed by law, limit their distribution of publications to individuals specifically requesting them.

• Agency heads should ensure that the results of the DGS/DPS distribution survey are disseminated to their agency publication managers or other staff members responsible for compiling publication mailing lists.

• The General Assembly may wish to amend § 2.1-467 B of the Code of Virginia to allow legislators and agency heads to more specifically designate the publications they wish to receive from State agencies. DGS/DPS should revise the instructions on the publication distribution survey in accordance with the revised statutory provisions.

• When mailing publications, agencies should use fourth class postage whenever possible.

Agency Oversight Needs Strengthening

Each State agency is responsible for overseeing its publications. As part of this oversight, the Code of Virginia requires agencies to maintain records on the cost of printing and distributing all agency publications. Maintenance of these records enables agency management to systematically examine the publication activities of the agency.

Many agencies have not developed a process to gather agency-wide cost information on publications. Agency management, therefore, may not know the total amount of agency resources being spent on publications. The result is non-compliant with the Code of Virginia as well as inadequate oversight on the part of agency management.

The following recommendation is made:

• The Directors of all State agencies should comply with the Code of Virginia requirement to maintain cost information for all publications. Publication information should be recorded by an agency at the time each publication is produced. For agencies with decentralized publication processes, each division should be required to report publication cost data to a designated office, such as the administration, procurement, or public information office, to expedite annual reporting to the VSL and oversight by agency management.

Virginia State Library Publication Requirements Need Clarification

The Virginia State Library (VSL) performs three primary oversight activities related to State agency publications. First, the VSL annually collects information on the cost and quantity of publications produced by each State agency. Second, the VSL serves as the official depository for State publications and oversees the statewide depository system. Third, the VSL annually publishes a listing of State publications available to the public. Problems were identified with two of these activities. First, confusion exists among agencies as to the publication information annually requested by the VSL, resulting in inconsistent reporting of this information. In addition, the VSL does not adequately follow-up with agencies providing no or incomplete information.

Second, the VSL does not provide agencies with a clear definition of the publications which should be sent to the library for the statewide depository system. Again, this results in inconsistencies in terms of which agency publications are sent to the VSL.

The following recommendations are made:

• The General Assembly may wish to amend § 2.1-467.1 of the Code of Virginia to more specifically define publications for which cost data are to be maintained by agencies and furnished to the VSL. The revised definition should generally include written documents which provide information to the reader, are used by entities outside the agency, and for which at least 50 copies are printed or reproduced, in any way, by or for a State agency in full or in part at State expense. Types of documents which may meet the definition include but are not limited to: reports, catalogues, regulations, technical manuals, employee and other newsletters, brochures, booklets, and posters. The definition should exclude documents which meet both of the following criteria: documents which are specifically restricted to use by an individual agency's staff and which apply only to the agency's administrative operations. Further, documents which are prepared for distribution to only a limited number of individuals named on the written document should be excluded.

Types of documents to be excluded are: letters, memoranda, forms, invitations, surveys, press releases, and meeting agendas.

• The VSL should clarify the instructions for completing the "Agency Record of Publications" form.

• The General Assembly may wish to eliminate the requirement for inventory information in the Code of Virginia by amending § 2.1-467.5 to read: "The State Librarian shall compile an annual listing of all publications produced by each state agency during each fiscal year, to include the number of each publication printed, and the costs of printing and distributing each publication."

• The VSL should include all State agencies on its mailing list when it distributes the "Agency Record of Publications" form.

• The VSL should continue to follow-up with agencies that do not return the "Agency Record of Publications" form. After all non-responding agencies have been contacted at least once with a request to return the form, the VSL should compile a list of all agencies in each secretariat which have not returned forms or have returned incomplete forms and send this list to the appropriate Secretary. The Secretary should then direct each agency to comply with the request.

• The Virginia State Librarian, with assistance from the 13 depository libraries, should develop a clear written description of the types of State publications which agencies should send to the VSL under the provisions of § 2.1-467.2 of the Code of Virginia. The State Librarian should then seek an amendment to § 2.1467.2 of the Code to incorporate this clarifying description.

Division of Purchases and Supply Practices Should Be Clarified

DGS/DPS oversees the procurement of printing by State agencies, and issues guidelines for agencies to follow in producing publications. Since the 1982 JLARC publications study, DGS/DPS has improved its oversight of State agency publications and printing activities by strengthening and clarifying its printing guidelines, increasing its training of agency procurement personnel, and helping to increase the amount of printing work being conducted by the Department of Corrections' print shop. However, DGS/DPS needs to further clarify its guidelines to reflect current DGS/DPS practices, and increase agencies' understanding of printing practices.

The following recommendations are made:

• DGS/DPS should clarify the guidelines in the Agency Procurement and Surplus Property Manual to reflect its current practices. Section 6.15 b of the manual should be amended to state that: "All requests for multicolor printing of publications not meeting the definition of "promotional publication," as defined in 6.15 a, must be accompanied by a letter of justification signed by the agency head or his designee. If the letter of justification is signed by an agency head designee, the agency head is still responsible for the decision to print using multiple colors of ink."

• DGS/DPS should develop a reference guide for State agencies to use in developing publications. The guide should include discussions of publication preparation, printing, and distribution and how the costs associated with each can be minimized. The reference guide should be distributed to all State agencies in conjunction with DGS/DPS' training program.

Emphasis on Recycling Has Increased, But State Agency Participation Is Inconsistent

Attention should also be directed toward State agency recycling efforts. In the area of publications, recycling involves two aspects: using recycled paper to print publications, and recycling publications which are no longer useful. Although the use of recycled paper and the number of paper recycling programs has increased, available information indicates that the majority of agencies still do not consistently participate in recycling activities.

The following recommendation is made:

• The Department of Waste Management should work with DGS to amend the Agency Procurement and Surplus Property Manual to facilitate the use of recycled paper and incorporate recycling-related considerations into the publication and printing guidelines.